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Broker Dealer Compliance Consulting Firm

Our goal is to provide an unsurpassed level of customer service by tailoring services to meet the specific needs of the individual client.

B/D Compliance Associates, Inc. (BDCA) provides broker/dealer and registered investment advisor regulatory compliance consulting to both existing and start-up operations. Founded by Carrie Wisniewski in 1994, a former FINRA Senior Examiner, the associates of our firm all have practical street experience, and some also have direct regulatory experience.

Our Services

Policies & procedures

Compliance implements supervisory policies & procedures

Training of all staff

Careful and helpful training for all staff on procedures.

FINRA, SEC and State Registrations

Registration with government and regulatory agencies.

Testimonials

"Carrie and her colleagues have a well planned process and the report was very detailed. We hope to work with B/D Compliance Associates, Inc. again."

Sonia Marbarak,

Compliance Officer, Vice President BBVA Capital Markets, Inc.

"B/D Compliance Associates, Inc. does a wonderful job and is uniquely suited for small and mid-sized BDs without in-house compliance resources.”

John Durrett,

President, MuniDirect.com, Inc.

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